John W. Claghorn
Professional summary
John Winthrop Claghorn IV, who also goes by Jake W Claghorn, John W Claghorn IV, John W Claghorn, John Winthrop Claghorn, John Winthrop Claghorn Iv, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in New York, New York and ROCKEFELLER CAPITAL MANAGEMENT located in Ny, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. John has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Winthrop Claghorn IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Winthrop Claghorn IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111February 20, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 45 Rockefeller Plaza 5th Floor, Ny, NY, 10111July 14, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza, New York, NY 10111June 22, 2015 - July 20, 2022
RBC CAPITAL MARKETS, LLC
June 22, 2015 - July 20, 2022
RBC CAPITAL MARKETS, LLC
October 22, 2012 - July 9, 2015
MORGAN STANLEY
August 23, 2012 - July 9, 2015
MORGAN STANLEY
September 13, 2011 - June 22, 2012
WEDBUSH SECURITIES INC.
February 29, 2008 - July 1, 2011
RBC CAPITAL MARKETS, LLC
April 6, 2005 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
